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8 Nov 2013, 6:02 am
The alleged claim was asserted against BBVA Securities of Puerto Rico, Inc. [read post]
2 May 2013, 3:50 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011, Claimant asserted causes of action including negligence, breaches of contract and fiduciary duty, fraud, conflict of interest, violations of securities rules and laws, and unsuitability in connection with his investment in Respondent BBVA’s proprietary fund Puerto Rico & Global Income Target Maturity Funds, Inc. [read post]
4 Jun 2018, 6:38 am
BBVA Compass Investment Solutions, Inc Benjamin Glasser Aibel Wunderlich Securities,Inc Sanders Morris Harris Inc Carter Page Brooks Wells Fargo Clearing Services, LLC Edward Jones Walter Lee Clark Clark Capital Financial LLC Adirondack Trading Groups LLC Christian Colon Ausdal Financial Partners, Inc. [read post]
6 Mar 2018, 8:02 am
BBVA Compass Investment Solutions, Inc. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton… [read post]
10 Mar 2014, 10:55 am
Respondent, TD Ameritrade, Inc. is liable for and shall pay to Claimant the sum of $61,732.00 in compensatory damages. 11-04271 Felix Bernard-Diaz BBVA Securities of Puerto Rico, Inc. [read post]
6 Mar 2014, 11:11 am
DiMercurio, the sum of $45,143.60 in compensatory damages. 11-04271 Felix Bernard-Diaz, Julian Rodriguez, and Luz Rodriguez BBVA Securities of Puerto Rico, Inc. [read post]
10 Jul 2020, 1:05 pm
(CRD# 27060), BBVA Compas Investment Solutions, Inc (CRD# 17086), BBVA Investments Inc. [read post]
3 Sep 2020, 8:38 am
BBVA Securities Inc. [read post]
11 Jun 2020, 11:36 am
BBVA Securities Inc. [read post]
14 Nov 2012, 9:54 am
(BBVA) 7. [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial Services … [read post]
28 Apr 2022, 8:28 am
Emerson Equity LLC Newport Coast Securities, Inc. [read post]
22 Sep 2021, 7:58 am
BBVA Securities Inc. [read post]
4 Jan 2021, 12:05 pm
Maxim Group LLC Dorinda Lumpkin BBVA Securities Inc. [read post]
28 May 2021, 8:02 am
Allstate Financial Services, LLC Dorinda Lumpkin BBVA Securities Inc. [read post]
1 Jun 2022, 9:16 am
Scott Levine Ascendiant Capital Markets, LLC BMA Securities Mario Martinez Mutual of Omaha Investors Services, Inc. [read post]
19 Oct 2023, 9:05 pm
s=3473&item=74221. [11] BBVA, BBVA receives the Bank Innovation award for its gamification platform, BBVA Game (2017), https://www.bbva.com/en/innovation/bbva-receives-bank-innovation-award-gamification-platform-bbva-game/. [12] Legal scholars have written about “digital finance platforms” in the asset management area. [read post]
3 Dec 2012, 9:09 am
Governor Scott announced the Canadian security company Garda will relocate its U.S. headquarters to Boca Raton Florida, creating 100 professional jobs, which has been exceeded. [read post]
17 Dec 2020, 8:04 am
As Digital Payments Heat up, Fiserv Agrees to Acquire Card-Control Technology Provider OndotDigital Transactions News– December 16, 2020 Fiserv Inc. announced Wednesday an agreement to acquire, for an undisclosed sum, Ondot Systems Inc., whose technology includes so-called card controls, or tools that allow cardholders to switch usage on or off according to considerations of security or preferred usage. [read post]
